Ethics And Regulation Flashcards
what is ethics?
doing the right thing.
why is ethics crucial for solicitors?
the public places trust un us. there is a greater expectation because of this special relationship
what are the SRA principles
fundamental requirements of ethical behaviours which must be upheld by all regulated by SRA
what is the SRA code of conduct for solicitors
this sets out the standards of professionalism from the individuals.
what is the SRA code of conduct for firms?
sets out standards and business controls expected of firms
what must the solicitor tell the client about complaints?
ensure that clients are informed in writing that they have a right to complain about services or charges, and how complaints are made and to whom, any right they have to make a complaint to legal ombudsman.
when can a claim go to the legal ombudsman for a complaint?
if it has not been resolved to the clients satisfaction within 8 weeks, they have the right to complain to legal ombudsman.
who is the legal ombudsman?
deals with complaints.
what type of client can complain to the LeO?
individuals, micro-enterprises, charities, clubs, associations, and PRs.
what may the LeO direct the solicitor to do?
apologise
make compensation
ensure the putting right of any error
specific action
limit the fees
what is the three step threshold to determine if there is a breach of professional conduct?
has there been a potential breach?
is that potential breach sufficiently serious that it is capable of regulatory action?
is the breach capable of proof?
what is the solicitors disciplinary tribunal?
hears and determines applications on conduct breaches, made by the SRA.
what is the SRA compensation fund?
maintained fund by SRA, which is a last resort of grants whose money has been impacted by an act or omission of someone from SRA.
